MP
Marty A. Phillips
STIFEL, NICOLAUS & COMPANY
Savannah, GA 31411
Some features on this profile are disabled
CRD#: 2983039
MP
Professional summary
Marty Andrew Phillips, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Savannah, Georgia.
Marty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Marty has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Marty Andrew Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marty Andrew Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2010
Experience
Current
April 25, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 15 Lake Street Suite 140, Savannah, GA 31411RIA
BD
CRD#: 793
Savannah, GA
Current
March 10, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 15 Lake Street Suite 140, Savannah, GA 31411RIA
BD
CRD#: 793
Savannah, GA
Past
February 22, 2017 - March 15, 2023
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
August 10, 2010 - July 30, 2015
WELLSPRING WEALTH MANAGEMENT LLC
RIA
CRD#: 134834
SAVANNAH, GA
Past
March 19, 2010 - July 7, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SAVANNAH, GA
Past
December 3, 2003 - March 23, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
ALPHARETTA, GA
Past
January 11, 2002 - August 4, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
July 26, 2000 - August 5, 2003
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
February 19, 1998 - July 25, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/19/2025)
RR
California(1/10/2024)
RR
Florida(4/6/2023)
RR
Georgia(3/10/2023)
IAR
Georgia(4/27/2023)
RR
Louisiana(4/6/2023)
RR
Massachusetts(5/22/2023)
RR
Minnesota(2/14/2024)
RR
Mississippi(4/6/2023)
RR
Missouri(4/6/2023)
RR
New Jersey(11/11/2024)
RR
North Carolina(4/6/2023)
RR
Pennsylvania(4/6/2023)
RR
South Carolina(4/6/2023)
RR
Tennessee(6/16/2023)
IAR
Texas(4/25/2023)
RR
Texas(10/25/2024)
RR
Washington(4/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Savannah, GA 31411TRUST BUT VERIFY
Monitor Marty Phillips
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
